Chia Wen Chiu

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2026-07-01

Branch Locations

20 Greenway Plz, Houston, TX 77046 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Bank Of America, N.A.	Houstan	TX	05/2026	Present
J.P. Morgan Securities Llc	Houston	TX	12/2023	04/2026
Jpmorgan Chase Bank (Tx)	Houston	TX	12/2023	04/2026
Hanmi Bank	Houston	TX	12/2019	04/2020
American First National Bank	Houston	TX	04/2020	12/2023
Southwestern National Bank	Houston	TX	10/2015	10/2016
Unemployed	Sugar Land	TX	11/2016	11/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Houston	TX	04/2026	Present

05/2026 → Present

Bank Of America, N.A.

Houstan, TX
12/2023 → 04/2026

J.P. Morgan Securities Llc

Houston, TX
12/2023 → 04/2026

Jpmorgan Chase Bank (Tx)

Houston, TX
12/2019 → 04/2020

Hanmi Bank

Houston, TX
04/2020 → 12/2023

American First National Bank

Houston, TX
10/2015 → 10/2016

Southwestern National Bank

Houston, TX
11/2016 → 11/2019

Unemployed

Sugar Land, TX
04/2026 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Houston, TX

Code	Exam	Date
S66	Uniform Combined State Law Examination	2026-07-01
S63	Uniform Securities Agent State Law Examination	2024-02-20